Continue Reading What is a Security? Even the SEC Can’t Always Tell
Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Investment Advisers
SEC Identifies Enforcement Priorities for Hedge Funds and Private Equity Funds
By Steve Quinlivan on
SEC Denies No-Action Request for “Publisher Exclusion” for Recommendations of Crowdfunded Investments
By Steve Quinlivan on
SEC Finds Loan to Investment Adviser’s CEO a Conflict of Interest
By Steve Quinlivan on
SEC Provides Guidance on Key Employee Trusts Under Family Office Rule
By Steve Quinlivan on
Volcker Rule Compliance for Private Equity and Hedge Funds Extended
By Steve Quinlivan on
FSOC Seeks Comment About Risks Posed by Hedge Funds and Other Asset Managers
By Steve Quinlivan on
NASAA Unveils Online Filing System for State Form D Filings
By David Jenson on
SEC Distances Itself From Janus and Adopts Expansive View of Rule 10b-5(a) and (c)
By Steve Quinlivan on
CFTC Grants Family Offices Relief From Registration as Commodity Trading Advisors
By Steve Quinlivan on